Elevate your compliance career with KAI Asset Management as a Senior Compliance Specialist in Winnipeg. Drive compliance administration, KYC reviews, and regulatory adherence in a cooperative workplace. KAI Asset Management seeks an experienced Senior Compliance Specialist to enhance our compliance program and facilitate regulatory obligations.
This role involves supporting KYC, AML monitoring, and maintaining compliance records while continually improving compliance processes. Ideal candidates will possess solid experience in financial services and a drive to advance in their compliance expertise. Key Responsibilities:
Administer daily operations of the compliance program
Review KYC information and Investment Policy Statements
Conduct compliance monitoring and testing activities
Prepare regulatory filings and manage audits
Deliver employee compliance training and resources Requirements:
5+ years of compliance experience in financial services
Robust understanding of Canadian securities legislation
Proficient in compliance monitoring and reporting
Excellent analytical and organizational skills
Relevant industry designations are an asset Show your expertise in compliance, KYC, and regulatory adherence at KAI Asset Management in Winnipeg.